All posts tagged "SEC"
-
SEC announces $26 million settlement fund for certain UBS Puerto Rico investors
Investors 'harmed' in relation to 23 non-exchange-traded, closed-end funds may file claims
- Posted March 22, 2019
-
Companies have up to a year for new U.S. tax bill reporting: SEC
Rules require flagging potential material risks or changes to operations and outlook to shareholders
- Posted December 26, 2017
-
Apple aims to block climate, rights proposals with quick use of SEC guidance
Including establishing a 'human rights committee' to address concerns on topics like censorship, and to report on its ability to cut greenhouse gas emissions
- Posted December 11, 2017
-
Wall St. attorney Clayton gets Senate panel OK as SEC head
WASHINGTON – A Senate panel has cleared the nomination of Jay Clayton, the Wall Street attorney chosen by President Donald Trump to lead the Securities and Exchange Commission. The vote was 15-8 Tuesday by the Senate Banking...
- Posted April 4, 2017
-
Trump Names Wall Street Lawyer Clayton as SEC Chairman
WASHINGTON – President-elect Donald Trump on Wednesday chose a Wall Street attorney with experience in corporate mergers and public stock launches as his nominee to head the Securities and Exchange Commission. Trump announced his nomination of Jay...
- Posted January 4, 2017
-
United Airlines will pay $2.4 million to settle with SEC
WASHINGTON — The parent company of United Airlines will pay $2.4 million to settle civil charges by securities regulators over flights that were started to help an official who oversaw one of the airline’s hub airports. The...
- Posted December 2, 2016
-
Senate Questions Donahue About Work in Prepa
Official at utility recognizes SEC is probing two bond emissions by the public corporation
- Posted October 5, 2016
-
SEC Investigating Three Prepa Bond Issues, Officials Say
Utilitiy's executive director revealed probe after a Senate hearing investigating the recent island-wide blackout
- Posted October 4, 2016
-
SEC Accuses Hedge Fund Manager Cooperman of Insider Trading
WASHINGTON – Federal regulators have accused high-profile hedge fund manager Leon Cooperman and his firm of illegally trading on confidential information he learned from a company executive. The Securities and Exchange Commission announced the civil insider-trading charges Wednesday...
- Posted September 21, 2016
-
Hedge-fund manager Cohen settles with US commodities agency
WASHINGTON – Billionaire hedge-fund manager Steven A. Cohen, who was earlier accused of failing to prevent massive insider trading at his firm, has agreed in a settlement with the government not to engage in any activities overseen...
- Posted August 16, 2016